Job Advert
Are you looking for a new 2nd line role, and enjoy providing specialist input on the management of conduct risk and assurance plan activities? Do you enjoy working collaboratively with a broad range of stakeholders to build trusting relationships? Do you have a strong focus on good customer outcomes?

WHAT YOU`LL DO

To give you an idea what to expect, you`ll be:

• Work with key business stakeholders on regulatory matters.
• Guide the business in identifying and managing compliance risks, including implementation of appropriate controls to address regulatory requirements.
• Support in the provision of MI and trending analysis of the Compliance related incidents and effectiveness of the 1LoD control arrangements.
• Follow UK Compliance Monitoring Methodology when undertaking monitoring activity.
• Undertake thematic review work and draft reports.
• Ensure recommendations proposed as part of monitoring activities are proportionate to the risks identified, actions are actively tracked and reported to closure.
• Provide support to the Head of Compliance Monitoring to ensure that there are adequate safeguards for all Financial Crime topics.
• Undertake sanction screening (including 2LoD alert management), PEP, and negative news screening, ensuring that alerts are closed or escalated in a timely fashion.
• Provide support on Conflicts of Interest management, advice and oversight.
• Ensure that all relevant reporting requirements are tracked and accurately submitted on time (including but not limited to RMA, REP and AR/IAR Annual Report).
• Lead in the creation, timely delivery and development of the Compliance MI packs.
• Act to deliver good outcomes for retail customers whilst delivering a higher standard of customer care and enabling consumers to make effective decisions in their interests.